THE DEVELOPMENT OF THE PRINCIPLES OF APPRAISAL IN THE PUBLIC SECTOR AND THEIR APPLICATION TO BUSINESS RECORDS Livia Iacovino This is Part I of an edited version of a paper submited to the Melbourne College of Advanced Education as a course requirement for the Graduate Diploma in Information Management (Archives and Records) in 1988. Part I examines the development of the principles of appraisal within the public archives tradition, including a discussion of the main theoreticians. It then considers how other archivists have interpreted appraisal criteria. A framework in which appraisal principles operate is drawn, which can apply to any institutional setting. Part II examines the application of government appraisal principles to business records within this broader framework. 1 Introduction Archivists have historically been concerned with records of permanent value. In the public sector, their role has changed from that of passive receivers to active selectors of records for retention and often for destruction. This process of evaluating records has been defined as appraisal.1 Appraisal determines what ends up in an archives. It has become a fundamental concern of archivists since they became involved in record selection. The theory and practice of archival appraisal was developed by the United States National Archives in the 1950s, as a result of the need to select permanent value records from the huge bulk of records produced by government, particularly after World War Two. Records management was concerned with the evaluation primarily of temporary records. It 198 APPRAISAL PRINCIPLES was expected to solve many records problems by creating and maintaining more efficient systems. The archivist could then concentrate on developing criteria for selecting records of permanent value. Major public archival institutions in Australia adopted the US terminology and methods of disposal of records, by way of disposal schedules, which listed categories of records to be retained or destroyed on a time basis. Appraisal was part of the procedure used to arrive at a disposal schedule and thus combined both the creating agency’s and the archives’ retention needs.2 The appraisal process is quite different when applied to records transferred to archives which have already undergone administrative selection. Archival appraisal of records in agency custody has led to a blurring of records management and archival functions in recent years and has had a strong impact on how the appraisal criteria are applied. Machine- readable records have led the archivist further into the records management domain, in the knowledge that appraisal of these records must be built into systems at the creation stage. In order to evaluate the applicability of government derived principles of appraisal to business records, we need to understand the public archives tradition, how and why archivists became involved in appraisal and the terms they have adopted. The broad factors which influence archival appraisal principles are equally applicable in both a business or a government setting. Once the fundamental institutional differences are analysed, similarities can be extracted and re-defined to suit a particular archival context. 2 The Selection of Records for Preservation as an Archival Task—an Historical Overview The French Revolution gave rise to the concept of government responsibility to preserve records for the people as well as for administration. It was not until the twentieth century that archivists established the principle that they should be consulted before any records were destroyed. After World War Two, the huge proliferation of records occurred as a result of the rapid expansion of government functions and the ability of machines to duplicate records. Large scale destruction of documentation became inevitable.3 Since the 1950s governments all over the world have developed legislation and records control programs to assist in the orderly transfer of records to archives. The public archivist thus became involved with both permanent and temporary records.4 In Great Britain, the Jenkinsonian tradition was the basis of the Grigg principle that appraisal should be delegated to the originating department and should not reflect the biases of academic researchers of a particular day.5 In the Grigg method there is a separation of the evaluation processes of administative and historical values. A first review by the departmental APPRAISAL PRINCIPLES 199 officer takes place five years after the record is closed. Some historical awareness does come into play and Public Record officers do provide unofficial advice on record values. It assumes a close relationship between current administrative values and continuing future research values, but distinguishes between the two processes. Records which pass the first review are reviewed twenty-five years later to determine the research value. This second review is implemented by the Public Record Office in conjunction with a departmental officer. Both administrative and research values are taken into account at this stage. In Great Britain’s Public Record Office, appraisal is an archival activity at the second review stage when the potential research values are assessed.36 * * In the United States, the National Archives and Record Service (NARS) promoted records management in the 1940s and 1950s in order to facilitate the disposal of records before they reached the National Archives. In the United States federal system disposal/retention schedules are prepared by agency staff under archival supervision and permanent value records are appraised by archival staff.7 The American concept of appraisal is directed to the selection of permanent value records.8 In Australia, the Australian Archives, the Commonwealth’s archival authority, was given authority under a 1966 Cabinet directive to control the destruction of Commonwealth records by means of authorised schedules. The Archives Act of 1983 provides a statutory basis for all archival activities.9 Appraisal is always part of the disposal process leading to a disposal schedule. Agencies prepared draft schedules on the basis of administrative criteria as well as providing an opinion on their informational/research value. However, the Australian Archives can reject the recommendations of the agency if a case for secondary reference values is found. Disposal authorities cover both permanent and temporary records and require mutual agreement to be authorised by the Australian Archives.10 The Public Record Office of Victoria, as the State archives of Victoria, also follows a joint agency/archives process in appraisal and disposal. However, it does not have detailed provisions for disposal in its Act. Instead, these are provided by standards issued by the Keeper of the Public Records.11 The term ‘appraisal’ as used by Australian Archives and the Public Record Office of Victoria covers all aspects of disposal and touches on custody, retention, destruction and storage. It is the means of providing the authorities to destroy and the method of determining the value of records to provide for their proper disposal.12 3 The Development of the Principles and Theory of Appraisal in the Public Sector 3.1 Appraisal Theory Appraisal literature deals either with the philosphical basis of appraisal 200 APPRAISAL PRINCIPLES criteria or else with the techniques for implementing appraisal decisions. A body of appraisal theory such as that for arrangement and description of records has not been developed.13 However, the concept of records as evidence of the organic growth of the organisation which produced them, which gave rise to the way archives are arranged and described, also influenced the development of archival appraisal principles.14 Discussions on the rationale for appraisal decisions centre on whether objective criteria can be achieved and whether the archivist, because of his/her historical training, is in a position to judge the research values of records. This latter consideration has resulted in most of the literature written on appraisal principles. 3.2 Schellenberg’s ‘evidential’ and ‘informational’ dichotomy Theodore R. Schellenberg of the United States National Archives and Records Service is considered the most influential theoretician of archival appraisal. He provided the concepts of ‘evidential’ and ‘informational’ values of records as a framework for the consideration of the research values of records. In ‘The appraisal of modern public records’, a National Archives and Records Service bulletin produced in 1956, he provided the overview of his concepts as they had evolved in the National Archives. His book Modem Archives: Principles and Techniques, published in the same year, reiterates and elaborates on these views. Schellenberg’s guidelines need to be evaluated in their historic context. He wrote when there was a pressing need to reduce public records. He considered that records management would assist in determining the quality of records selected and would work closely with archival management. The terms ‘evidential’ and ‘informational’ are based on the statutory definition of ‘records’ from the Federal Disposal Act of 1943: All books, papers, maps, photographs or other documentary materials, regardless of physical form or characteristics, made or received by any public or private institution in pursuance of its legal obligations or in connection with the transaction of its proper business and preserved or appropriate for preservation by that institution or its legitimate